The self-regulatory organization is asking for public comments on what could amount to a significant overhaul of its dispute resolution system.

The proposals, now filed with the Securities and Exchange Commission, are part of Finra’s broader "FINRA Forward" rule modernization initiative. “Our FINRA Forward rule modernization initiative is an ...

The Financial Industry Regulatory Authority Inc. (FINRA), is launching a wide-ranging consultation on possible changes to its primary mechanism for resolving disputes between the industry and ...

Haselkorn & Thibaut wins $1.28M FINRA award against Fidelity over structured note losses, intensifying its investigation into Vora Wealth Management strategies.

State regulators warn FINRA’s proposed Rule 3290 could leave gaps in oversight of brokers’ side businesses and private deals.

On January 22, 2026, FINRA filed a proposed rule change with the SEC to adopt FINRA Rule 3290, which would replace existing FINRA rules on ...

The limit imposed in the gifts rule was last adjusted in 1992. FINRA said boosting the cap to US$300 gift “should account for ...

On July 12, FINRA accepted a Letter of Acceptance, Waiver, and Consent from a broker-dealer alleging that it did not enforce its written supervisory procedures related to outside business activities ...

Under a new FINRA proposal, brokers who have a side hustle selling antiques online would no longer risk fines and censures for not reporting the business to their firm. Processing Content That's just ...

Severely restricting the ability to dismiss frivolous claims may force respondents into early settlement and mediation — a more cost-effective alternative to arbitration. However, the ...